Greetings from PeopleEquity!
We recruit high caliber, dedicated professionals to deliver innovative solutions to exceed our client’s expectations.
We are looking for talented professionals who are looking forward to a great career at THOMSONREUTERS(www.thomsonreuters.com)
Team Lead Compliance
Description:
To manage a team of Compliance specialists who are supporting the CA compliance requirements for a specific region ; Ensure operating effectiveness of SOX controls for designated regions. Ensuring zero material deficiencies identified during audit and mitigating potential failure areas in a timely fashion; meeting requirements in an accurate and timely manner, providing expertise to the account team and associated customers in all related matters, thereby delivering customer satisfaction whilst ensuring that the company’s goals and objectives are met. Taking responsibility for meeting performance targets in volume output and service goals. Be responsible for managing staff, providing leadership and expertise to the team, meeting targets for Compliance and Service levels. Should manage and develop a team of 15 staff without significant senior management guidance.
Essential Day-to-Day Responsibilities:
1. Manage a team of Data & Compliance Specialists which includes motivating, coaching, retaining and developing staff.
2. The Team Leader and Specialists will work with Data & Compliance Specialists and also Order Management Specialists to ensure that processes meet data and compliance requirements and flow seamlessly and consistently at handover points between COMC/D&C
3. Ensure consistency where there are specialised processes required for D&C which could be carried out by different groups/functions within and outside the COMC
4. Escalate any D&C issues be they internal or external
5. Collaborate with all groups involved with D&C ( e.g. Global Product Administration, CRM Data groups) to ensure that the impact of any changes is fully understood and catered for.
6. Minimise liability exposure to 3rd parties, by ensuring compliance by COMC staff, TPRS reporting, Exchange Agreement & DAD review, etc.
7. Support the team as and when necessary running a suite of reports for the regional COMCs and distribute the reports or post the reports on the Intranet as necessary.
8. Support the team as and when necessary carrying out data reconciliations and control reporting - includes follow up with OMS and other groups as required
9. Assist as necessary with preparation, outputs and follow-up for audits both internal and external.
10. Maintain regional Authority Matrices files and names on the approvers list.
11. Authorise user accesses and administer allocation of accesses and maintain user profiles
12. Review and react to all ‘What’s New’ messages and other communications regarding changes by developing and implementing project plans to manage the change or onpassing to the Process team for action.
Qualification:
Education:
§ Degree/professional qualification or equivalent work experience with CA is must
Required Skills (Must have), Necessary industry Experience & associated number of years of experience:
§ Above 5 years of total work experience in similar large organisations of which around 2-3 years of experience in the prospect to cash / commercial customer facing processes
§ Proficiency in office suite and Access preferred
§ Ability to grasp technical concepts, understand diverse hardware platforms, operating systems, data communications and networking
§ Understanding of financial markets and Thomson Reuters products ; Good understanding of internal admin systems such as CRM, COMPASS, ISIS Detail oriented with strong analytical skills
§ Ability to communicate at all levels and work as and manage a team Ability to work independently on multiple activities, showing appropriate prioritisation and escalation skills for themselves and team.
§ Encourages and enables compliance with team practices and methods of working whilst seeking proactively to improve
§ Flexibility and an appreciation of a fast-moving and international environment
EXCELLENT COMMUNICATION SKILLS
Desired Skills (Nice to have in addition to the Required Skills), Necessary industry Experience & associated number of years of experience:
Experience in Audits/compliance areas
Understanding of financial markets and Thomson Reuters products
3-5 years customer service experience within Thomson Reuters or relevant industry.
If you find this opening interesting please mail across your profile to us immediately so that we can have a discussion on a suitable fitment and take the interview process forward.
Send your updated profile along with your current contact details at the earliest; if you feel if you are not interest in the current profile do refer this requirement to your friends or colleagues whom you feel they satisfy the criteria
Have a nice day!
Regards
Veena
Phone: 080- 40383702
veena@people-equity.com
